Clark Financial Advisory Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Share, Unit
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Share, Unit
Investment Setup

For Eligible Counterparty, Professional, Share, Unit

Senior staff personally approved by the FCA to hold their roles here.

Christine Mian Chen
IRN CMC01150
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (7 Apr 2015 to 8 Dec 2019)
Killian Patrick Connolly
IRN KPC01036
- [FCA CF] CASS oversight function (since 15 Apr 2021)
Michael Cedric Andrew Clark
IRN MCC01052
- [FCA CF] CASS oversight function (since 31 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF30 Customer (21 Mar 2014 to 8 Dec 2019)
- CF3 Chief Executive (21 Mar 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (21 Mar 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (21 Mar 2014 to 8 Dec 2019)
- CF1 Director (21 Mar 2014 to 8 Dec 2019)

Smaller firms operating under this firm's FCA authorisation.

3-Gram Limited (no longer appointed)
FRN 947734 · Appointed 24 Mar 2021 · Until 27 Apr 2021

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.